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NYSE Arca Regulation

Issuer Oversight

Listing Information

Removals from Listings

The NYSE publishes two lists of issues pending delisting from the Exchange:

Exchange-initiated delisting
An issue is added to this list upon the Exchange's filing of a Form 25 with the SEC and remains posted until the application to delist the issue becomes effective with the SEC (generally 10 days).

Issuer-initiated delisting
An issue is added to this list one business day after the exchange is notified of the issuer's intent to voluntarily withdraw its listing by filing a Form 25 with the SEC, and remains posted until the issuer's application to delist becomes effective with the SEC.

Regulatory Reminder Letters

Blue Sky Exemptions

By virtue of a Securities and Exchange Commission (SEC) order in January 1998 that designates NYSE Arca Tier I listed securities as covered securities for the purposes of Section 18(a) of the Securities Act of 1933, Tier I listings are afforded Blue Sky exemption from state securities laws in all 50 states (SEC Release No. 3-7494, January 2, 1998). Under the SEC's order, Section 18(a) preempts any state registration and fee requirements that would otherwise apply to Tier I listings. Tier II listings are afforded for issuer and non-issuer exemptions in the following states and jurisdictions except where noted below.

State Tier I Tier II
Alabama X  
Alaska X X
Arizona X X
Arkansas X X
California X 1
Colorado X X
Connecticut X  
Delaware X X
Florida X 1
Georgia X X
Hawaii X X
Idaho X  
Illinois X X
Indiana X  
Iowa X  
Kansas X X
Kentucky X  
Louisiana X  
Maine X  
Maryland X  
Massachusetts X X
Michigan X  
Minnesota X  
Mississippi X  
Missouri X X
Montana X X
Nebraska X  
Nevada X X
New Hampshire X  
New Jersey X  
New Mexico X X
New York X 2
North Carolina X  
North Dakota X  
Ohio X  
Oklahoma X 1
Oregon X X
Pennsylvania X  
Rhode Island X X
South Carolina X  
South Dakota X  
Tennessee X  
Texas X X
Utah X 1
Vermont X  
Virginia X  
Washington X  
West Virginia X  
Wisconsin X  
Wyoming X  
  1. Non-issuer exemption only
  2. Issuer transactions may be subject to notice filing requirements